17 CFR 210.5-01 - Application of

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§ 210.5-01 Application of §§ 210.5-01 to 210.5-04.
Sections 210.5-01 to 210.5-04 shall be applicable to financial statements filed for all persons except—
(a) Registered investment companies (see §§ 210.6-01 to 210.6-10).
(b) Employee stock purchase, savings and similar plans (see §§ 210.6A-01 to 210.6A-05).
(c) Insurance companies (see §§ 210.7-01 to 210.7-05).
(d) Bank holding companies and banks (see §§ 210.9-01 to 210.9-07).
(e) Brokers and dealers when filing Form X-17A-5 [249.617] (see §§ 240.17a-5 and 240.17a-10 under the Securities Exchange Act of 1934).
[50 FR 49533, Dec. 3, 1985]

Title 17 published on 2013-04-01

no entries appear in the Federal Register after this date.

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

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United States Code

Title 17 published on 2013-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 210 after this date.

  • 2013-06-19; vol. 78 # 118 - Wednesday, June 19, 2013
    1. 78 FR 36834 - Money Market Fund Reform; Amendments to Form PF
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Proposed rule.
      Comments should be received on or before September 17, 2013.
      17 CFR Parts 210, 230, 239, 270, 274 and 279